Preparation for trial - Purpose of pre-trial checklists and ...

Learning Outcomes

This article outlines the purpose, structure, and procedural role of pre-trial checklists and pre-trial hearings in civil litigation, including:

• the functions, timing, and scope of pre-trial checklists (listing questionnaires), their linkage to case management directions, and how they demonstrate trial readiness in fast-track and multi-track cases
• the distinctions between fast-track listing hearings and multi-track pre-trial reviews (PTRs), including who is expected to attend, how the court uses them to finalise trial arrangements, and examples of typical directions made
• court expectations at the pre-trial stage: up-to-date witness and expert information, special measures, realistic trial estimates, and confirmation of compliance with disclosure and evidence timetables
• the parties’ responsibilities for preparing and lodging trial bundles, the usual 3–7 day filing window, mandatory and optional contents, and coordination between representatives
• the consequences of non-compliance with pre-trial obligations, focusing on unless orders, strike out, relief from sanctions, costs consequences, and risks to the fixed trial date
• application of these rules to SQE-style problem questions, including identifying when the court is likely to list a PTR, predicting likely case management orders, and advising on practical steps to avoid adjournment, wasted costs, or adverse orders

SQE1 Syllabus

For SQE1, you are required to understand pre-trial checklists and pre-trial hearings in civil litigation, with a focus on the following syllabus points:

• the purpose and content of pre-trial checklists (listing questionnaires) in fast-track and multi-track cases
• the role and objectives of pre-trial hearings (pre-trial reviews), including typical directions and orders
• differences between fast-track listing hearings and multi-track pre-trial reviews, and when each is used
• trial bundle timing and content, and the parties’ responsibilities
• court case management powers used at the pre-trial stage to ensure readiness for trial
• the consequences of failing to comply with pre-trial procedures (including unless orders, strike out and costs)

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. What is the main purpose of a pre-trial checklist in civil litigation?
2. When must a pre-trial checklist be filed in a fast-track case?
3. What actions can the court take if a party fails to file a pre-trial checklist on time?
4. Name two issues typically addressed at a pre-trial hearing (pre-trial review).

Introduction

Pre-trial checklists and hearings are essential steps in preparing a civil case for trial. They help the court and parties confirm that all procedural requirements have been met, identify any outstanding issues, and ensure that the case is ready to proceed efficiently. Understanding these processes is critical for SQE1, as they are central to effective case management and compliance with the Civil Procedure Rules (CPR). The court’s duty to actively manage cases (CPR 1.4) and enforce compliance (CPR 1.1(2)(f)) is most visible at this stage: judges check that directions have been followed, timetables are realistic, and resources are properly allocated, all with the aim of ensuring trials proceed expeditiously and fairly.

Pre-Trial Checklists: Ensuring Compliance and Readiness

A pre-trial checklist (also called a listing questionnaire) is a form that parties must complete and file before trial. Its main functions are to:

• confirm compliance with all previous court directions
• identify any outstanding steps or problems
• provide the court with information about witnesses, experts, and trial estimates
• support the court in allocating resources and setting a realistic timetable

Key Term: pre-trial checklist
A form required by the court before trial, used to confirm that all directions have been complied with and to assess trial readiness.

In practice, the checklist is the court’s audit tool. It draws together the progress of disclosure and inspection, witness statements, expert reports (including whether a single joint expert is used), hearsay notices, any outstanding interim applications, and the practical arrangements for trial. The judge can then decide whether the case can be listed to start on the allocated date or whether further case management steps are needed.

When and How Are Pre-Trial Checklists Used?

• Fast-track cases: The court will send out a pre-trial checklist (Form N170) to each party, usually about eight weeks before the trial date. Parties must file the completed checklist by the specified deadline. The court may also list a short listing hearing to address any unresolved matters and confirm arrangements.
• Multi-track cases: The checklist is also required, but the court may additionally schedule a pre-trial review hearing (PTR), typically around ten weeks before the trial, to address complex issues and finalise directions and timetabling.

Failure to file the checklist on time can result in the court striking out a party’s claim or defence, or imposing other sanctions. Often the court will first send a notice requiring the checklist to be filed within seven days; if not, an unless order or immediate strike out may follow.

Key Term: fast track
The case management track for claims usually valued between £10,000 and £25,000, with trials expected to last no more than one day.

Key Term: multi-track
The case management track for complex or high-value claims not suitable for the small claims or fast track.

What Information Is Included?

The checklist asks for details such as:

• compliance with directions (e.g., disclosure, witness statements)
• the need for further directions
• the number and availability of witnesses and experts
• the estimated length of trial
• any special requirements (e.g., interpreters, video links, reasonable adjustments)
• confirmation that trial bundles will be prepared
• whether hearsay notices have been served and if any witness summonses are needed
• any recent settlement discussions or whether a short stay for ADR would be appropriate

The court expects realistic information. Inflated or overly conservative trial estimates cause listing difficulties and can lead to late adjournments. Parties should therefore check witness availability and expert attendance carefully and provide accurate time estimates.

Pre-Trial Hearings: Managing Final Issues

A pre-trial hearing (often called a pre-trial review or PTR) is a short court hearing, usually held in multi-track cases, to ensure the case is ready for trial. The court will:

• check that all directions have been complied with
• resolve any outstanding procedural issues
• confirm the trial timetable and arrangements
• discuss the contents and filing of the trial bundle
• address any last-minute settlement discussions
• set limits on the number of witnesses and experts where appropriate
• fix the place of trial (court centre) and confirm any remote or hybrid attendance needs

Key Term: pre-trial hearing
A court hearing before trial to confirm readiness, resolve outstanding issues, and finalise arrangements for trial.

Key Term: case summary
A concise overview (often capped at around 500 words) of the parties’ positions and the issues still in dispute, filed for use at the pre-trial hearing and trial to assist judicial case management.

Key Term: trial timetable
The schedule the court sets for the conduct of the trial, including order of witnesses, time limits for examination and submissions, and daily sitting arrangements.

Typical Issues Addressed at a Pre-Trial Hearing

• Are all witness statements and expert reports filed and served?
• Has disclosure been completed, and have inspection and any specific disclosure orders been complied with?
• Are there any outstanding applications (e.g., for witness summonses, interim payments, or relief from sanctions)?
• Are all parties and witnesses available for the trial dates?
• Is the trial bundle agreed and ready, and will it be filed within the required window (usually between seven and three days before trial)?
• Are interpreters, remote video links, or special facilities needed?
• Is the trial estimate still accurate, and should the court impose time limits for evidence and submissions?
• Should the case be stayed briefly for ADR, or do Part 36 costs consequences need to be considered?

In fast-track cases the court may instead list a short listing hearing to confirm arrangements, as trials are expected to last no more than one day. PTRs are more common in multi-track matters where complexity or length warrants a dedicated hearing.

Worked Example 1.1

A claimant and defendant are preparing for a fast-track trial. The court sends both parties a pre-trial checklist to be filed eight weeks before trial. The defendant fails to file the checklist by the deadline. What can the court do?

Answer:
The court may send a further notice requiring the defendant to file the checklist within seven days. If the defendant still fails to comply, the court can strike out the defence and enter judgment for the claimant.

Worked Example 1.2

In a multi-track case, the pre-trial checklist reveals that expert reports have not been exchanged due to a dispute over instructions. At the pre-trial hearing, what can the judge do?

Answer:
The judge can give further directions to resolve the dispute, set a new deadline for exchange, and confirm arrangements for experts to attend trial if needed. The judge may also limit expert evidence or direct use of a single joint expert if appropriate and proportionate.

Worked Example 1.3

Both parties in a multi-track claim file pre-trial checklists stating “no issues outstanding”. The claimant’s checklist later proves inaccurate: two key witnesses have not confirmed attendance, and no interpreter has been booked for one witness. At the PTR, the defendant asks the court to impose directions or costs sanctions. How is the court likely to respond?

Answer:
The court will actively manage readiness. It is likely to direct confirmation of witness attendance and interpreter arrangements by specific dates, potentially issue a witness summons if needed, and may make a costs order to reflect the claimant’s failure to accurately complete the checklist and prepare, especially if the shortcomings risk adjournment or wasted court time.

Worked Example 1.4

A fast-track trial is listed in three weeks. The defendant has served witness statements late and now asks at the listing hearing for permission to rely on them. The claimant opposes, warning that the trial date is jeopardised. What will the court consider?

Answer:
The court will weigh compliance with directions, proportionality, and the impact on the trial date. It may refuse permission, grant permission with conditions (e.g., costs thrown away, a short extension without moving the trial), or limit reliance to certain statements. Preserving the trial date and fairness will be central to the decision.

Consequences of Non-Compliance

Failing to file a pre-trial checklist or comply with directions can have serious consequences:

• the court may strike out a party’s claim or defence
• the court may adjourn the trial and impose a costs order
• the court may refuse to allow a party to rely on evidence not disclosed or served on time
• the court may make an "unless order" (a final warning with a sanction for non-compliance)

Key Term: unless order
A court order stating that unless a party complies with a specified step by a deadline, a sanction (such as strike out) will be imposed automatically.

At this stage, the court’s focus is on safeguarding the integrity of the trial date and efficient allocation of court resources. Even where strike out is not imposed, the court can bar a party from calling a witness or relying on an expert report served late, order wasted costs, or direct that costs be assessed on the indemnity basis where conduct warrants it.

Exam Warning

If a party fails to file a pre-trial checklist or comply with an unless order, the court can strike out their case without further notice. Always check deadlines and comply promptly.

The Role of Trial Bundles and Final Preparation

The pre-trial checklist and hearing ensure that the trial bundle—the set of documents to be used at trial—is complete, agreed, and filed on time. The court will also confirm the trial timetable, the order of witnesses, and any special arrangements needed.

Key Term: trial bundle
An indexed and paginated file containing all documents to be referred to at trial, prepared and filed before the hearing.

The usual filing window is between seven and three days before trial. Parties should collaborate to agree the contents; a single bundle is filed for the judge and duplicated for parties and witnesses. Typical contents include:

• claim form and all statements of case
• an agreed case summary or chronology, and any skeleton arguments
• requests for further information and responses
• witness statements (and hearsay notices where relevant)
• experts’ reports and any written answers to questions
• directions orders and any important interim orders
• any other necessary documents to be relied upon at trial

In multi-track cases, a short, neutral case summary and list of issues is often required so the trial judge can identify what remains genuinely in dispute and allocate time appropriately. Parties should also agree page numbering and indexing to make navigation efficient. Where interpreters, remote links, or special measures are required, these must be arranged and confirmed at the PTR.

Final checks before trial

• confirm all witnesses’ attendance and travel arrangements
• ensure interpreters and any remote or hybrid attendance are booked and tested
• re-check trial estimate and adjust if a witness is no longer required
• provide any mandatory notices (e.g., hearsay notices) by the latest date for witness statements
• liaise with court listing office if any change affects the timetable or resources

Courts increasingly expect representatives attending the PTR or listing hearing to have full knowledge of the case and authority to agree directions, to avoid delay and ensure smooth progression to trial.

Key Point Checklist

This article has covered the following key knowledge points:

• Pre-trial checklists confirm compliance with directions and assess trial readiness.
• Filing the checklist on time is mandatory; failure can lead to strike out or other sanctions.
• Fast-track cases may have a short listing hearing; multi-track cases typically have a PTR.
• Pre-trial hearings (PTRs) are used in complex cases to resolve outstanding issues and finalise trial arrangements.
• The trial bundle must be agreed, complete, and filed within the 3–7 day window before trial.
• The court uses these tools to manage cases efficiently, enforce compliance, and protect trial dates.
• Non-compliance can result in severe penalties, including costs orders, exclusion of evidence, and loss of the right to rely on witnesses.

Key Terms and Concepts

• pre-trial checklist
• fast track
• multi-track
• pre-trial hearing
• unless order
• trial bundle
• case summary
• trial timetable